0001127602-18-016171.txt : 20180503 0001127602-18-016171.hdr.sgml : 20180503 20180503134319 ACCESSION NUMBER: 0001127602-18-016171 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180501 FILED AS OF DATE: 20180503 DATE AS OF CHANGE: 20180503 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hallgrimson Steven L. CENTRAL INDEX KEY: 0001522757 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23877 FILM NUMBER: 18802991 MAIL ADDRESS: STREET 1: 150 ALMADEN BLVD. CITY: SAN JOSE STATE: CA ZIP: 95113 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HERITAGE COMMERCE CORP CENTRAL INDEX KEY: 0001053352 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 770469558 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 150 ALMADEN BOULEVARD CITY: SAN JOSE STATE: CA ZIP: 95113 BUSINESS PHONE: 4089476900 MAIL ADDRESS: STREET 1: 150 ALMADEN BOULEVARD CITY: SAN JOSE STATE: CA ZIP: 95113 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2018-05-01 0001053352 HERITAGE COMMERCE CORP HTBK 0001522757 Hallgrimson Steven L. 150 ALMADEN BLVD. SAN JOSE CA 95113 1 Common Stock 2018-05-01 4 A 0 1190 0 A 83628 D Common Stock 16300 I Indirect By Other Beneficiary Type Common Stock 3000 I Indirect By Spouse Common Stock 2900 I Indirect By Trust Common Stock 2000 I Personal IRA Common Stock 4000 I Private Foundation Common Stock 3500 I SEP IRA Common Stock 7000 I With Son in an LLC Standard Employee Option - NSO 6.39 2012-05-01 2022-05-01 Common Stock 1172 1172 D Standard Employee Option - NSO 6.57 2013-04-30 2023-04-30 Common Stock 2169 2169 D Standard Employee Option - NSO 8.07 2014-02-27 2024-02-27 Common Stock 3004 3004 D Restricted stock award vests at the first anniversary of the grant date, subject to continuous employment with the Company. /s/ Debbie Reuter as Attorney in fact for Steven L. Hallgrimson 2018-05-03